Financial Advisor Supervisor

1 day ago


Orlando, Florida, United States International Assets Advisory, LLC Full time
Job Description

International Assets Advisory, LLC is a rapidly growing Broker/Dealer/RIA based in Orlando, Florida, offering a unique opportunity for a skilled Financial Advisor Supervisor to join our team.

This role involves providing day-to-day supervision of independent contractor financial advisors, reviewing exception reports, advertising, sales literature, and correspondence to ensure compliance with industry regulations.

Key Responsibilities:

  • General supervision of the sales activities of financial advisors.
  • Conducting suitability and best interest analyses of transactions.
  • Reviewing and approving incoming and outgoing correspondence, email, and advertising materials.
  • Assisting in resolving account-related deficiencies and inquiries.
  • Conducting branch examinations to monitor compliance and identify areas for improvement.

Requirements and Skills:

  • FINRA Series 7 license required; FINRA 24 and 66 licenses preferred or ability to obtain within 90 days.
  • A minimum of two years' experience in compliance and/or supervisory roles.
  • Strong knowledge of the financial services industry, products, and services.
  • Ability to prioritize tasks, manage time effectively, and maintain excellent organizational skills.
  • Excellent verbal and written communication skills, with a focus on delivering high-quality results.

Estimated Salary Range:$60,000 - $80,000 per year, depending on experience and qualifications.


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